market, including guidelines for enhancing the development of the Thai securities industry where all sectors are able to gain benefits fairly and efficiently. The joint meeting was held at the SEC
such means as change of position, type of work or work location. Whistleblowers shall be treated fairly and protected by law. For example, they shall not be suspended, threatened, interfered with work or
/ Frequent / Persistent 7 VE scale of assessment: Minor / Significant / High / Critical 8 VE scale of assessment: Non-communicative / Reactive / Remediative / Proactive 3 Verification – The KPI will be
. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services
order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably
intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably and trustworthy, the
companies have considerably increased whereas doubts in a number of cases were reflected whether the placements were used appropriately or fairly to the shareholders. To prevent the exploitation of private
offering and to strengthen proper investor protection mechanisms. Pursuant to the amended regulations, investors’ rights will be protected fairly according to the characteristics, forms and risks of the
accommodate fluctuations; and supported for development of professional standards. Investors Accessing to information and making investment decisions with confidence; being treated fairly in securities trading
could be explained by the expectations remaining fairly new, or more seriously, be symptomatic of poor corporate materiality assessment practices. General management indicators Across the assessed sample